David S. Hallum
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Sims Hallum was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 8 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2015 - May 31, 2018
VICTORY CAPITAL SERVICES, INC.
March 17, 2011 - March 9, 2012
MATRIX CAPITAL GROUP, INC.
October 8, 2007 - May 12, 2015
COMPASS EFFICIENT MODEL PORTFOLIOS, LLC
March 12, 1999 - September 27, 2007
FSC SECURITIES CORPORATION
March 12, 1996 - January 12, 1998
WMA SECURITIES, INC.
March 30, 1995 - March 6, 1996
GUARDIAN INVESTOR SERVICES LLC
February 21, 1991 - August 30, 1994
IDS LIFE INSURANCE COMPANY
February 21, 1991 - August 30, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VICTORY CAPITAL SERVICES, INC.
CRD#: 37059 / SEC#: , 8-47577
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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